Assistant Vice President, Lead Assistant General Counsel
4 weeks ago
About this Position We are looking for a Lead Assistant General Counsel to join our Legal team.Responsibilities: Advising the company on corporate and securities regulation compliance, prospectus reviews, assess and advise on regulatory changes and providing legal support for corporate governance matters. Working closely with the General Counsel on the provision of strategic legal advice on complex matters, managing legal risks, ensuring compliance with relevant laws and regulations. Supporting business operations by offering legal counsel to executive management. Providing advice on legal implications of strategic business decisions across a wide range of legal issues in a pragmatic, flexible and collaborative manner with a focus on the operational responsibilities of a Mutual Fund Dealer and Mutual Fund Manager. Ongoing monitoring of compliance with relevant laws, regulations and industry guidelines, covering securities, technology, artificial intelligence, data privacy and other technology-driven initiatives. Analyzing legal issues, conducting legal research, and drafting legal documents including complex contracts, agreements and opinions. Providing ongoing support and work collaboratively with the Securities Compliance Team to ensure continued regulatory adherence. Negotiating contract terms and managing due diligence processes effectively. Contributing to the development of the company’s legal strategy and risk management framework including conducting research and preparing opinions that assist in the advancement of key business objectives. Identifying opportunities to improve legal processes and efficiency. Responsible for annual review and regulatory filings required for an investment fund manager. Attending to other matters and special projects as assigned by the General Counsel. Representing the General Counsel and Legal Team in front of Executive Management both locally and at the Parent Company level, which may include presentations and real-time advice and guidance. Provide supervision and guidance to members of the legal team. Preferred Qualifications: LL.B./J.D. from an accredited university in Canada or equivalent and a Member in good standing with at least one Canadian provincial law society, with a preference for Ontario. Minimum 10 - 15 years’ experience in a managerial or leadership role providing legal counsel in the financial services sector – experience within the Securities and/or Mutual Fund industries preferred. Individuals with securities and general litigation experience would be considered an asset. Investment filings and documentation review/preparation experience with mutual funds. Excellent negotiation skills to effectively interact with all levels of management, stakeholders and regulators. Superior analytical and problem-solving skills. Exhibited leadership and mentorship qualities developed through active involvement and guidance. Comprehensive understanding of relevant Canadian laws and regulations. Ability to manage complex legal matters with a high degree of autonomy. Regulatory risk management, policy development/review experience. Highly organized and able to quickly adapt to a high change, growth environment. Superior interpersonal, communication and presentation skills. This position has a wide range of duties that will be assigned to greater or lesser degree depending upon the skill set, experience and performance of the successful candidate. As such, the above-noted qualifications may evolve or change as the position evolves. #J-18808-Ljbffr
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